Our Capital Markets + Securities group has comprehensive experience representing issuers, underwriters and placement agents,  investment banks, broker-dealers, institutional and other investors, directors and officers, and other market participants.

Clients, both foreign and domestic, regularly turn to our capital markets & securities team for precise and strategic legal guidance to navigate the complexities of financial markets.

Our highly experienced team handles a wide range of securities matters, including public and private offerings, mergers, proxies, and other change of control and acquisition transactions. Our clients include domestic and international entities, and we have significant experience representing United States and Asian companies in cross-border transactions.

Our clients also rely on us for top-tier services including:

Public + Private Offerings

• Initial and follow-on public offerings
• PIPE transactions, reverse mergers, and Alternative Public Offerings (APOs)
• Secondary offerings and resales of securities in registered offerings and exempt transactions
• Recapitalizations, reclassifications, reorganizations, spin-offs, split-offs, At-The-Market offerings (ATM), rights offerings, and similar transactions
• Representation of public and private companies and FINRA member broker-dealers in public and private offerings of equity, debt, and other securities

Stock Exchange Listings + Compliance

• 1933 Securities Act and 1934 Exchange Act compliance, reporting, and registration
• Compliance with state securities offering, broker-dealer, and other "blue sky" laws
• NASDAQ, NYSE, NYSE American, OTCQB, OTCQX and other stock exchange listings
• Sarbanes Oxley Act (SOX) requirements
• Securities and Exchange Commission (SEC) rules and regulations

At Robinson+Cole, we are also recognized bond counsel for debt securities, both taxable and tax-exempt, issued by states, state agencies, municipalities, and other government entities.

Our Team

Our team of lawyers has decades of experience representing clients in capital markets and securities matters. We have a lengthy track record of successfully guiding our clients through a multitude of domestic and cross-border transactions, in collaboration with diverse practice groups throughout our firm.

Our attorneys also author articles to inform our clients on significant statutory and regulatory changes impacting their businesses. 

Our Capital Markets + Securities practice group serves and advises all public and private market participants, proficiently managing capital transactions in a compliant and efficient manner.